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June 15, 2019

Top Stories of the Week: Morgan Stanley, Merrill Execs Outline Strategy, Dynasty Offers ‘Forgivable’ Loan, and More

by AdvisorHub Staff
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Dynasty FP, Merrill Lynch, Morgan Stanley
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Top-Stories-Of-The-Week-Morgan-Stanley-Merrill-Execs-Outline-Strategy-Dynasty-Offers-Forgivable-Loan-And-More
Westend61/Getty Images
  1. Morgan Stanley’s Saperstein: FA Numbers to Decline “by Design”
    Asset growth and advisor productivity at wirehouse will thrive without recruiting because top-quintile FA attrition is down 50% since wirehouse exited Broker Protocol, company says.
  2. Merrill Sticks with Recruiting Freeze, Brokers Hit Growth NumbersMerrill Lynch Wealth President Andy Sieg says brokers have more than doubled their household acquisition rate to six accounts in three years and have “room to run.”
  3. Ex-Morgan Stanley Manager Ousted After Broker Arrest Clears His RecordArbitrators absolve longtime wirehouse branch manager Jeffrey Crystal and five others of charges that they failed to supervise advisor who admitted stealing $5 million from clients.
  4. Dynasty Offers Forgivable Recruiting Loan of 100% of RevenueFirm will retain 35%  of participating firms’ cash flow during term of eight-year “forgivable loan” program.
  5. Opco Broker in L.A. Producing $4 Mln Goes Independent
    After an 18-year career with Oppenheimer, Larry Goldstein affiliates with Cetera’s Summit Brokerage in search of a bigger payout.

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NEWS

  • Shareholders File to Block Advisor Group’s Ladenburg Takeover

    Shareholders File to Block Advisor Group’s Ladenburg Takeover

    Dec 13, 2019
  • UBS Hit with Biggest Finra Employee Arbitration Penalty of Year

    UBS Hit with Biggest Finra Employee Arbitration Penalty of Year

    Dec 13, 2019
  • 2020 Comp: Wells Adds More Large-Account Incentives for Brokers

    2020 Comp: Wells Adds More Large-Account Incentives for Brokers

    Dec 12, 2019
  • Ameriprise Retracts Plan to Levy ‘Discretionary’ Fees on Indie Brokers

    Ameriprise Retracts Plan to Levy ‘Discretionary’ Fees on Indie Brokers

    Dec 12, 2019
  • J.P. Morgan Reorganizes U.S. Wealth Unit

    J.P. Morgan Reorganizes U.S. Wealth Unit

    Dec 11, 2019
  • $4.5-Mln Merrill Team in Texas Shuffles to Wells Fargo

    $4.5-Mln Merrill Team in Texas Shuffles to Wells Fargo

    Dec 11, 2019
  • UBS Hires from Merrill, Morgan Stanley, Loses Ohio Vet to RayJay

    UBS Hires from Merrill, Morgan Stanley, Loses Ohio Vet to RayJay

    Dec 11, 2019
  • Wells Fargo Joins Race to Zero Commissions

    Wells Fargo Joins Race to Zero Commissions

    Dec 10, 2019
  • UBS to Shutter Three Sales Regions, Revive Wealth Planning Position

    UBS to Shutter Three Sales Regions, Revive Wealth Planning Position

    Dec 10, 2019
  • 2020 Comp: UBS Raises Payout Hurdles Across the Board

    2020 Comp: UBS Raises Payout Hurdles Across the Board

    Dec 10, 2019

Out of the Box by Mark Grant

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